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Summary/Function:
The Associate Financial Advisor serves as a key contributor to the Financial Professional’s team, supporting practice growth through proactive client engagement, portfolio analysis, and targeted business development within the existing book of business. This role is responsible for independently assessing client needs, re profiling relationships, and delivering tailored investment recommendations aligned with clients’ goals and risk profiles. By exercising sound judgment and investment expertise, the Associate Financial Advisor enhances client satisfaction, expands advisor capacity, and helps drive sustainable growth through effective relationship management and high quality advisory support.
Qualifications:
• Bachelor’s degree in finance, accounting, economics, or equivalent experience; advanced credentials (MBA, CFP, CFA) preferred.
• Required FINRA licenses: Series 7 and Series 63/65 or Series 66, as applicable.
• Strong knowledge of investment products, portfolio analysis, and the securities industry, including regulatory requirements.
• Demonstrated ability to exercise independent judgment in analyzing client portfolios and recommending appropriate investment strategies.
• Strong analytical, quantitative, and technology skills, including proficiency with Microsoft Office applications.
• Proven interpersonal and communication skills, with the ability to build relationships, collaborate within a team, and mentor others as needed.
• Highly organized, results-oriented professional capable of managing multiple priorities in a deadline-driven environment while maintaining confidentiality and compliance standards.
Duties:
• Serve as the primary relationship contact for a subset of clients to enhance client experience and expand advisor capacity.
• Engage clients and prospects, frame discussions, and communicate the team’s mission to support business development.
• Prospect within the existing book of business and support new client acquisition in alignment with team strategies.
• Conduct in depth client interviews to assess objectives, risk tolerance, and financial circumstances; proactively reprofile clients.
• Open new accounts, gather assets, and support practice growth through referrals and asset aggregation.
• Analyze client portfolios and recommend suitable investment strategies using independent judgment and sound research.
• Participate in client onboarding, annual reviews, and ongoing client meetings independently or with team members.
• Maintain strong knowledge of all product and service offerings, including managed accounts, retirement accounts, annuities, and trust services.
• Ensure compliance with firm policies and regulatory requirements; identify and escalate issues as appropriate.
• Monitor client accounts and transactions, addressing suitability issues and initiating appropriate actions.
• Complete required paperwork, process transactions (including unsolicited orders), prepare correspondence, and resolve account issues.
• Perform additional duties and special projects as assigned.
The potential base pay hiring range for this role is $65,000 – 80,000 annually along with eligibility for bonus compensation. This role is eligible to participate in applicable D.A. Davidson variable compensation programs. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.
